Best Investors
Account
Sign in
Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-12-11 |
Branch Locations
6075 Poplar Ave Suite 335, Memphis, TN 38119 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Apple Inc | Cupertino | CA | 10/2015 | 02/2020 |
| Raymond James Financial Services | Memphis | TN | 02/2020 | 08/2023 |
| Raymond James Financial Services, Inc. | Memphis | TN | 08/2023 | Present |
| Raymond James Financial Services Advisors, Inc | Memphis | TN | 12/2023 | Present |
(1)Name of Business: Swain Wealth Partners LLC Address: 6075 Poplar Ave Ste 335, Memphis, TN, 38119-0109, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/07/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Account opening, trading, general client assistance
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-18 |
Reach out to this advisor